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  1. 13 June 2013

    Charges laid today against David Ross

    Charges laid in the Wellington District Court against David Robert Gilmour Ross. The charges laid by the Serious Fraud Office (SFO) allege he operated a $400 million Ponzi scheme. They follow a joint agency investigation between SFO and the FMA. Read more.
    Tags
    Media release, News & Insights, Enforcement
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    Page

  2. 1 May 2017

    Forestlands – update for investors

    FMA had ongoing inquiries into the Forestlands companies. We have referred some matters to the Serious Fraud Office. We will continue to complete our inquiries in relation to financial markets issues. Read more.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  4. 2 September 2010

    Draft Code to Minister for Approval

    The Commissioner for Financial Advisers, David Mayhew has approved the draft Code of Professional Conduct for Authorised Financial Advisers, and sent it to the Minister of Commerce, Hon Simon Power for his approval.
    Tags
    Media release, News & Insights
    Type
    Page

  5. 7 August 2014

    Brian Henry admits market manipulation

    Brian Peter Henry has admitted all of the FMA's allegations that he breached the market manipulation prohibitions in the Securities Markets Act 1988. Read more.
    Tags
    Media release, News & Insights, Enforcement
    Type
    Page

  7. 15 August 2011

    FMA orders Share Buyers Limited to include warning

    The Financial Markets Authority (FMA) has ordered Share Buyers Limited (Share Buyers) and associated persons to include a warning from FMA in a prominent position at the beginning of any document making an unsolicited offer to buy shares or other securities.
    Tags
    Media release, Cases, News & Insights, Enforcement
    Type
    Page

  9. 3 September 2015

    Consultation paper: Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012

    Consultation paper: Proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012. This paper seeks to gather views from business professionals involved in auditing on the proposed amendments to the Auditor Regulation Act (Prescribed Minimum Standards and Conditions for Licensed Auditors and Registered Audit Firms) Notice 2012.
    Tags
    Auditors, Consultations, Roles, Business
    Type
    Page

  12. 27 May 2022

    Financial Markets Conduct (Stride Property Group) Exemption Notice 2022

    The Financial Markets Conduct (Stride Property Group) Exemption Notice 2022 allows Stride Property Limited (SPL) and Stride Investment Management Limited Stride (SIML), as stapled entities (Stride Property Group), to prepare consolidated financial statements for the purposes of subpart 3 of Part 7 of the Financial Markets Conduct Act 2013 (the Act).
    Tags
    Exemptions, Secondary legislation, Business
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    Page

  13. 9 September 2015

    Consultation paper: Proposed FMC Act exemption for offers made through AFAs providing personalised DIMS

    Consultation paper: Proposed FMC Act exemption for offers made through AFAs providing personalised DIMS. The FMA is seeking comment on whether there is a need for exemption relief for offerors who sell financial products through AFAs providing personalised discretionary investment management services (DIMS) under the Financial Advisers Act 2008 (FA Act).
    Tags
    Offer information, FMC Act, Legislation, Discretionary investment management scheme (DIMS), Consultations, Roles, Business
    Type
    Page

  15. 21 July 2017

    Consumers tell FMA about financial providers’ conduct

    The FMA has completed its first survey of consumers’ experience of conduct. It follows the publication of the FMA’s guide to its view of conduct earlier this year. This focused on the ‘five Cs for good conduct’: capability, conflict, culture, controls and communication.
    Tags
    Conduct, Media release, Business, News & Insights
    Type
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